executive performance management - nsw health · positions or psse roles should also participate in...

Policy Directive

Ministry of Health, NSW73 Miller Street North Sydney NSW 2060

Locked Mail Bag 961 North Sydney NSW 2059Telephone (02) 9391 9000 Fax (02) 9391 9101

http://www.health.nsw.gov.au/policies/

spacespace

Executive Performance Managementspace

Document Number PD2016_019

Publication date 09-Jun-2016

Functional Sub group Corporate Administration - GovernancePersonnel/Workforce - Conditions of employmentPersonnel/Workforce - Salaries

Summary The purpose of this Policy Directive is to ensure that appropriateperformance management processes are in place for the Ministry's PublicService Senior Executive and Health Executive Service, and to providefor changes to the annual performance assessment scale and theperformance agreement templates.

Replaces Doc. No. Executive Performance Management [PD2015_033]

Author Branch Workplace Relations

Branch contact Workplace Relations 02 9391 9616

Applies to Local Health Districts, Board Governed Statutory Health Corporations,Chief Executive Governed Statutory Health Corporations, SpecialtyNetwork Governed Statutory Health Corporations, Affiliated HealthOrganisations, Public Health System Support Division, NSW AmbulanceService, Ministry of Health, NSW Health Pathology, Cancer Institute(NSW)

Audience Administration, NSW Health Executive Service, SES, PSSE, HumanResources

Distributed to Public Health System, Health Associations Unions, NSW AmbulanceService, Ministry of Health

Review date 09-Jun-2021

Policy Manual Not applicable

File No. 16/1886

Status Active

Director-GeneralspaceThis Policy Directive may be varied, withdrawn or replaced at any time. Compliance with this directive is mandatoryfor NSW Health and is a condition of subsidy for public health organisations.

POLICY STATEMENT

EXECUTIVE PERFORMANCE MANAGEMENT

PURPOSE The purpose of this Policy Directive is to ensure that there are appropriate performance management processes in place for the Ministry’s Public Service senior executive (PSSE) and the Health Executive Service (HES). The Secretary, NSW Health exercises the employer functions on behalf of the Government of New South Wales in respect of executives in both the NSW Ministry of Health and the NSW Health Service. In particular, this document:

• Identifies key features of the NSW Health Executive Performance Management System

• Provides information that will assist executives to develop appropriate individual performance agreements

• Identifies the minimum processes required to effectively manage and review executives’ performance.

MANDATORY REQUIREMENTS Responsibility for Managing Executive Performance Responsibility for making annual performance agreements and undertaking at least an annual performance review in respect of PSSE’s in the NSW Ministry of Health (the Ministry) has been delegated to line managers. In respect of Chief Executives of Local Health Districts and board governed Statutory Health Corporations, responsibility for making annual performance agreements and undertaking at least an annual performance review has been delegated to the Chairperson of the Board of these organisations. The concurrence of the relevant Board is required to the contents of any agreement. The Secretary negotiates the annual performance agreement and undertakes the performance review for the Chief Executive in the Health Education and Training Institute, NSW Ambulance and HAC entities. In respect of health executives below the level of Chief Executive, responsibility for making annual performance agreements and undertaking at least an annual performance review has been delegated to Chief Executives. In addition to the annual individual performance review, the Chief Executive should generally give feedback to executives who report to them individually following the organisation’s quarterly Performance Review meetings between the Health Service / Agency and the Ministry. Upon employment, executives are to sign a contract of employment that is in a standard form issued by the Ministry. The contract of employment makes provision for the:

• Term of the contract, i.e. ongoing or limited term

• Conditions of employment, additional to those in relevant legislation or determinations

• Description and Responsibilities of the Position / Assigned Role (Appendix A)

PD2016_019 Issue date: June-2016 Page 1 of 3

POLICY STATEMENT • Performance Agreement (Appendix B)

• Total Remuneration (Appendix C). Relevant information on the Public Service senior executive (PSSE) and HES can be found on the Ministry of Health intranet site at: http://internal.health.nsw.gov.au/jobs/hes/index-hes.html. The relevant legislation requires at least an annual review of executives’ performance. This document sets out the objectives and procedures for such performance review. The performance review process is designed to align with the planning cycle for NSW Health and organisational performance agreements where applicable. Non-HES senior staff, employed under an award or industrial determination, who are part of a public health organisation’s executive team, or officers occupying SES positions or PSSE roles should also participate in the performance agreement and review process applicable to executives, however remuneration variations for non-executive staff occupying a role at executive level will be in line with the relevant award or determination.

IMPLEMENTATION Please refer to Attachment 1 of the Executive Performance Management Procedures.

REVISION HISTORY Version Approved by Amendment notes June 2016 (PD2016_019)

Deputy Secretary, Governance, Workforce and Corporate

Provides for the assessment classifications being increased from four to five; Includes three mandatory objectives in the Performance Agreement templates; Templates 7.2, 7.3, 7.4 and 7.5 updated.

August 2015 (PD2015_033)


Provides for the assessment classifications being reduced from five to four, and for the principles applying to SES/HES being applied to movement within the discretionary range for PSSE officers, and clarifies that performance issues should be managed through Government Sector Employment Act 2013 - s68 and Government Sector Employment Rule 2014 – rule 36.

August 2014 (PD2014_027)


Includes: introduction of the Government Sector Employment Act 2013; the numbered rating references of 1, 2, 3, 4 and 5 have been deleted; the word ‘rating’ has been replaced with ‘assessment’, ‘assessed’ or ‘level’; methodology summary for progression along the remuneration range; information on the State Health Plan – Towards 2021; and the rating definition for Outstanding the word ‘well exceeding’ is replaced with ‘significantly exceeding’.

July 2013 (PD2013_014)

Deputy Director General, Governance, Workforce and Corporate

Inclusion of Public Service Commission mandatory performance objectives for managing finance and people, reference to LHD and Specialty Network performance summary to be provided by Ministry and ‘exceptional’ rating changed to ‘outstanding’


http://internal.health.nsw.gov.au/jobs/hes/index-hes.html

POLICY STATEMENT January 2013 (PD2013_004)


Amendments to address specific arrangements for Ministry of Health Senior Executive Service, HAC unit health executives and “Pillar” organisation executives and other ancillary amendments.

September 2012 (PD2012_052)


Updated policy and rescinded PD2011_058.

September 2011 (PD2011_058)

Deputy Director General, Health System Support

To ensure that there are appropriate performance management systems in place for SES/HES.

ATTACHMENT 1. Executive Performance Management – Procedures.


Executive Performance Management

PROCEDURES

Issue date: June 2016

PD2016_019


PROCEDURES

CONTENTS 1 INTRODUCTION .................................................................................................................. 1

1.1 Definitions ..................................................................................................................... 1 1.2 Related Policies ............................................................................................................ 2 1.3 Enquiries ....................................................................................................................... 2

2 WHAT IS THE AIM OF EXECUTIVE PERFORMANCE REVIEW? ....................................... 2

3 WHAT IS THE PURPOSE OF THE PERFORMANCE AGREEMENT? ................................ 2

4 DEVELOPING A PERFORMANCE AGREEMENT ............................................................... 3 4.1 Format .......................................................................................................................... 3 4.2 Setting Performance Criteria ......................................................................................... 3 4.3 Linking Organisational Objectives and Priorities to Individual Performance Goals ....................................................................................................... 4 4.4 Linking Executive Capabilities to the Performance Agreement ...................................... 6 4.5 Finalising and Variation of Performance Agreements .................................................... 6

5 ASSESSMENT CYCLE AND PERFORMANCE REVIEW .................................................... 7 5.1 Introduction ................................................................................................................... 7 5.2 Assessment Cycle......................................................................................................... 7 5.3 Reviewer Responsibilities ............................................................................................. 8 5.4 Preparation for Performance Review (Progress and Annual Review) ............................ 9 5.5 Degree of Difficulty ...................................................................................................... 10 5.6 Annual Performance Assessment ............................................................................... 11 5.7 Distinction between Individual Performance Assessment Level and the NSW Health Performance Framework ........................................................................ 12 5.8 Timeliness, Fairness and Confidentiality ..................................................................... 12

6 REMUNERATION AND EXECUTIVE PERFORMANCE .................................................... 13 6.1 Determination of Remuneration................................................................................... 13 6.2 Contract Decisions ...................................................................................................... 13 6.3 Checks and Balances ................................................................................................. 14

7 APPENDICES .................................................................................................................... 14 7.1 Checklist ..................................................................................................................... 14 7.2 Template for NSW Health Executive Service Annual Performance Agreement and Review ................................................................................................................. 15 7.3 Template for Ministry of Heth Public Service Senior Executive Annual Performance Agreement .................................................................................................................. 22 7.4 Template for Statutory Health Corporations (“Pillars”) / Health Administration Corporation Health Executive Service Annual Performance Agreement ...................... 23 7.5 Annual Performance Assessment Form 20__Annual Review ...................................... 33

PD2016_019 Issue date: June 2016 Contents page


PROCEDURES

1 INTRODUCTION

1.1 Definitions

Annual performance review: the review that is undertaken each year in accordance with the relevant Acts to assess the executive’s performance. Assignment: A PSSE will initially be assigned to a PSSE role (within a band) and they can subsequently be reassigned to a role in any public service agency. Employer: any person authorised to exercise the functions of the Secretary, NSW Health (the Secretary) as employer of PSSE officers and executives holding an executive position in the Health Executive Service. Executive: for the purpose of this policy ‘executive’ means a person holding an executive position in the Health Executive Service; a Senior Executive Service Officer or a person assigned a Public Service senior executive role within the NSW Ministry of Health. Health Administration Corporation (HAC): refers to the Health Administration Corporation established under Section 9 of the Health Administration Act and includes any Division of the Health Administrative Corporation. Health Executive Service: the group of staff within the NSW Health Service who are appointed as health executives under Part 3 of Chapter 9 of the Health Services Act 1997. HESU: means the Health Executive Service Unit within the NSW Ministry of Health which is responsible for personnel and contract administration services for NSW Health executives. Organisation: for the purpose of this policy ‘organisation’ is a generic term intended to capture all entities within NSW Health except where the reference is particular to Local Health Districts and Specialty Networks. Performance agreement: means the written agreement developed annually, between the employer and an executive containing criteria upon which the executive’s performance will be reviewed, which forms Appendix B of the executive’s Contract of Employment. Performance assessment: means the assessment rating used as the basis for determining annual variations to an executive’s total remuneration package, including movement through the discretionary range. Pillar: A Statutory Health Corporation constituted under section 41 of the Health Services Act, which is not a Specialty Network. Position: is a reference to a PSSE role or a HES position, as applicable. Position description: is a reference to a PSSE role description or a HES position description, as applicable Public Service senior executive (PSSE): Means the Secretary of a Department and any other Public Service employee to whom Division 4 of Part 4 of the GSEA applies. PD2016_019 Issue date: June-2016 Page 1 of 33


PROCEDURES

Relevant legislation: As appropriate - means Government Sector Employment Act (GSEA) 2013 and related Rules and Regulations, the Health Services Act 1997 and Public Sector Employment and Management Act (if applicable). Reviewer: is the person who undertakes the performance review of the executive, this may be a line manager or Board Chair.

1.2 Related Policies

The requirements of this document are consistent with the principles set out in Policy Directive PD2013_034 Managing for Performance.

1.3 Enquiries

Any enquiries relating to this Policy Directive should be directed to the Executive Director, Workplace Relations on (02) 9391 9373 or the Health Executive Service Unit on (02) 9391 9704.

2 WHAT IS THE AIM OF EXECUTIVE PERFORMANCE REVIEW?

The Executive Performance Management System aims to:

• Align and link an executive’s personal performance objectives with the goals of the relevant organisation, for example, those identified in the organisation’s Service / Performance Agreement or compact, KPIs, high priority and other issues identified by the Secretary from time to time. Detail the specific targets and measures of personal and organisation performance, linking corporate goals, budgetary expectations and service delivery

• Enhance managerial and other capabilities by promoting communication and providing regular feedback on performance between the executive and the line manager, and providing appropriate development programs

• Engender a mutual understanding of what is expected of an executive by the organisation for which the executive works.

• Comply with statutory and other requirements.

3 WHAT IS THE PURPOSE OF THE PERFORMANCE AGREEMENT?

Utilising an annual agreement as the primary basis for performance review ensures that each executive’s performance is assessed on the basis of agreed goals and performance criteria, and that the goals and priorities of NSW Health are integrated with individual responsibilities. The Position Description at Appendix A of the executive’s contract of employment sets out what is expected of the executive on an ongoing basis. The performance agreement at Appendix B builds upon Appendix A. It articulates the specific priorities and focus for the executive in carrying out his / her ongoing duties and responsibilities over the course of the year.



PROCEDURES

The Performance Agreement enables executives to clearly understand their responsibilities in relation to their position and the priorities of their organisation specifically, and the public health system more generally, for the year ahead.

4 DEVELOPING A PERFORMANCE AGREEMENT

4.1 Format

The individual Performance Agreement is designed to link the organisation’s performance with the responsible executive. Pro forma performance agreements and review documentation for executives appear in Section 7 Appendices, of this document and are to be used as a guide. These templates may be adapted as required for specific circumstances but should incorporate the following matters: Strategic Objectives In respect of Local Health Districts, include goals and initiatives that directly contribute to achievement of the Service Agreement, KPIs and targets agreed between the Ministry of Health and the Local Health District. For other organisations, include goals and initiatives that directly contribute to achievement of service compacts and KPIs, organisational strategic plans and any relevant goals or priorities within the Secretary’s performance agreement, or otherwise established by the Minister, Ministry or other part of Government. The strategic objectives should not aim to cover all aspects of the position, but rather the most critical of the position accountabilities. Specific Organisation Priorities These goals will reflect specific priorities for that particular organisation. This would typically include goals that cannot be easily mapped to the Strategic Priorities as expressed in the Service Agreement or other of the organisation’s planning documents and high priority projects and activities requiring the executive’s particular focus during the year. Leadership Priorities and Development This section details the leadership, professional and / or technical capabilities essential or most critical to the executive’s position and achievement of their goals. Enhancing these capabilities is of mutual benefit to the executive and the organisation. The executive’s personal professional and managerial development plan should be included in the performance agreement.

4.2 Setting Performance Criteria

Performance criteria describe what performance outcomes are expected and how achievement of those outcomes will be measured. NSW Health identifies strategic priorities, whole of Government objectives, targets and KPIs. These priorities form the basis of each Performance Agreement.



PROCEDURES

The local organisation may also establish strategic and operational plans that reflect the performance criteria and the specific priorities and goals for that particular organisation. The executive’s performance criteria, expressed in the Performance Agreement should be:

• Relevant to the most strategic or critical outcomes of any strategy or project • Based upon the already established organisational targets and KPIs, and adjusted to

take account of circumstances where joint responsibility for a particular strategy or objective has been assigned to more than one executive

• Within the executive’s control and authority • Challenging but achievable and realistic. When setting performance criteria, the

expected degree of difficulty of the achievement and how this may impact on the assessment process should be taken into account. Goals that are not sufficiently challenging will jeopardise the objective of the performance agreement and review process

• Specific enough to be measured in qualitative and / or quantitative terms so that performance can be assessed or evaluated

• Where possible, agreed between the reviewer and the executive. In the event that organisational priorities and circumstances change, it may be necessary to review the performance criteria and modify the executive performance agreement to reflect those changes.

4.3 Linking Organisational Objectives and Priorities to Individual Performance Goals

A performance agreement provides a means of aligning organisational objectives and priorities to the individual performance goals of the executive. Performance planning should flow from the top down, with individual goals integrated with strategic and operational priorities and objectives. This can be accomplished by ensuring that the performance agreement for the individual reflects key elements of the organisation’s priorities and objectives for which they have specific accountability. Executives are also responsible for the performance of their teams / direct reports and the individual performance goals should also reflect / address this. Documents which articulate corporate or public health system goals that will impact during the year include:

• The organisation’s service / performance agreements • Healthcare services plans • Workforce Plans • Strategic Plans • Specific service agreements • Government directives.

These documents will provide the organisational context for an executive’s specific performance goals and measures. A critical component of the performance agreement format is the explicit alignment of the organisation’s achievement of its performance objectives, by linking it to that of the executive’s performance accountabilities. PD2016_019 Issue date: June-2016 Page 4 of 33


PROCEDURES

Chief Executive (Local Health Districts and Statutory Health Corporations) The executive team, led by the Chief Executive, is accountable for the fulfilment by the organisation of its statutory responsibilities and the targets set in the organisation’s service agreement with Government. The Chief Executive has overall accountability for leadership and effective management of the organisation’s human, material and financial resources and for implementing the Government’s policies. For Chief Executives working for board governed organisations, these leadership, control and management functions are to be exercised within a governance framework established by the Board to which the relevant Chief Executive is accountable. At Chief Executive level, there will be a direct link to the organisation’s Service / Performance Agreement, or in the case of a “Pillar” organisation its compact, and achievement of the KPIs contained in it, as well as other identified strategic objectives. “Pillar” Chief Executives will also need to consider and incorporate any objectives and targets in the Secretary’s performance agreement and other specific Government strategies and Ministerial directives for which they have primary functional responsibility. In addition to the annual individual performance review, the Chief Executive should generally give feedback to executives who report to them individually following the organisation’s performance review meeting / s between the organisation and the NSW Ministry of Health. Second / Third Tier Executives (Local Health Districts / Statutory Health Corporations) The performance agreement for other executives is to incorporate that subset of goals and targets in the organisational service / performance agreement and other relevant documents for which the executive has primary functional responsibility, either individually or jointly with other executives. During the course of the year the organisation’s service / performance agreement / compact may be amended, and if appropriate, this may also translate into amendments to the relevant executive’s performance agreement. Ministry Public Service senior executives The performance agreements for Deputy Secretaries should incorporate that subset of objectives and targets in the Secretary’s performance agreement and other specific Government strategies and Ministerial directives for which they have primary functional responsibility. A cascading approach should be adopted by their Divisional executives HAC Unit Chief Executives and executives The performance agreement for each Chief Executive should incorporate that subset of objectives and targets in the Secretary’s performance agreement and other specific Government strategies and Ministerial directives, as well as service KPIs, for which they have primary functional responsibility. A cascading approach should be adopted with their second and third tier executives.



PROCEDURES

4.4 Linking Executive Capabilities to the Performance Agreement

Executive positions within NSW Health are varied and complex, and capabilities required for one position may vary or have a different priority than another. Executives should identify those capabilities that they wish to improve / develop and include these in the Performance Agreement. The NSW Public Sector Capability Framework can be accessed at: http://www.psc.nsw.gov.au/sector-support/capability-framework/access-the-capability-framework/the-capability-framework The NSW Public Sector Capability Framework goes hand in hand with the NSW Health Leadership Framework which can be accessed at: http://www.heti.nsw.gov.au/programs/leadership/nsw-health-leadership-framework/

4.5 Finalising and Variation of Performance Agreements

Both the executive and employer representative are to agree to the performance goals and criteria and sign the document. Finalised performance agreements should be consistent with this policy. Initial Appointment Newly appointed / assigned executives should finalise their personal performance agreement within six to eight weeks of commencement in the position if the executive is appointed / assigned to a previously established position with specific performance criteria already established (for established positions the previous incumbent’s performance agreement will be a useful basis for developing the new performance agreement). A period of up to three months may be required for developing a performance agreement for a position in a new area of activity. Variation Performance agreements may be varied during the year by mutual agreement between the executive and the line manager to take account of changes in policies, circumstances, and priorities. A signed copy of the amended performance agreement is to be forwarded to HESU for attachment (as Appendix B) to the Contract of Employment. Executive The individual executive is responsible for:

• The timely development of a draft performance agreement for discussion in accordance with the planning cycle (generally financial year basis)

• Developing draft performance criteria that are consistent with the key duties and responsibilities of their position in fulfilling the organisation’s performance agreement

• Developing draft performance criteria that are consistent with this policy • Initiating variations to the performance agreement where appropriate.

Line Manager The Line Manager is responsible for:

• Negotiating the performance criteria for his / her direct line report / s over the review year, and any performance targets for each area of responsibility, and signing off on the performance agreement


http://www.psc.nsw.gov.au/sector-support/capability-framework/access-the-capability-framework/the-capability-framework


http://www.heti.nsw.gov.au/programs/leadership/nsw-health-leadership-framework/


PROCEDURES

• Ensuring the negotiated performance agreement is consistent with this policy • Initiating variations to the performance agreement where appropriate.

Board Chairs of Local Health Districts, Board Governed Statutory Health Corporations, Specialty Networks and HAC Units The Board Chair is responsible for:

• Negotiating the performance criteria the Chief Executive is to achieve over the review year ensuring these criteria are consistent with this and other relevant Government policy, signing off on the performance agreement and providing a copy to the HESU in the Ministry which is responsible for executive contract administration. This is done in consultation with the Secretary in the case of board governed HAC Units and statutory health organisations.

• Initiating variations to the performance agreement where appropriate and providing a copy of any variation to the HESU.

Secretary NSW Health The Secretary is responsible for:

• Negotiating the performance criteria for his / her Ministry direct reports, Chief Executives of NSW Ambulance, and non-board governed Statutory Health Corporations and HAC Units, and signing off on the performance agreement and providing a copy to the HESU in the Ministry which is responsible for executive contract administration. In the case of board governed HAC Units and statutory health corporations this is done in conjunction with the relevant Chairperson

• Initiating variations to the performance agreement where appropriate, and providing a copy of any variation to the HESU.

5 ASSESSMENT CYCLE AND PERFORMANCE REVIEW

5.1 Introduction

The performance agreement, as varied throughout the year, forms an important, but not the sole basis of the annual performance review and assessment. The performance review and assessment is to be fair and take account of circumstances that are demonstrably outside of the executive’s control and which may have impacted upon the meeting of goals and targets. It should also take account of unplanned activities and changed priorities which have not been formally documented in the agreement. The assessment should appropriately differentiate between the overall performance of the organisation, and the personal contribution made by the executive to overall organisational achievement. It should identify the personal performance accountabilities of the executive. It should be a “whole of job” assessment that considers the achievement of the position accountabilities.

5.2 Assessment Cycle

In most cases, the timing of the assessment cycle will be linked to the corporate planning cycle, with each executive being assessed annually, after the end of financial year, and when the organisation’s performance outcome information is available.



PROCEDURES

The assessment cycle will typically be one year in length, although this may be varied having regard to particular circumstances. Examples include a new appointee or an executive whose performance is under review or to accommodate any specific requirements of the Statutory and Other Offices Remuneration Tribunal (SOORT) Determination or where the organisation has implemented a standard progress review for all executives.

5.3 Reviewer Responsibilities

Line Manager • Clarifying performance requirements, giving feedback, undertaking a progress review

(at least six monthly) • Undertaking an annual performance review and preparing an annual performance

review report and assessment for his / her direct line reports.

Local Health District and Specialty Network Board Chairs • Clarifying Chief Executive performance requirements, giving feedback, undertaking

progress reviews as required, conducting an annual performance review and assessment, and preparing a report including an assessment outcome on the performance of the Chief Executive.

• Ensuring he or she obtains the Secretary’s feedback on a Chief Executive’s performance prior to conducting the Chief Executive’s annual performance review and providing a copy of the performance assessment form to the HESU.

• Consulting with the Secretary on any Chief Executive performance issues that may arise and agreeing on the appropriate course of action to address those issues.

• Recommending to the Secretary, on behalf of the Board, to terminate or not renew the appointment of a Chief Executive on the basis of his / her performance in the position.

Chairs of other Health Organisations • For performance reviews of Chief Executives of board governed “Pillar” statutory

health corporations, the Chairperson should consult with the Secretary and ensure the Secretary has the opportunity to provide input for the assessment. This could take the form of a joint review.

• For Health Administration Corporation Divisions / Units with board governance in place, a joint review by the Board Chair and Secretary should be conducted unless other arrangements are agreed in any particular case.

Secretary NSW Health • Clarifying performance requirements, giving feedback, undertaking progress reviews

as required, conducting an annual performance review and assessment and preparing a report, and assessing the performance of the relevant executive.

• Providing a performance summary for each Local Health District and Specialty Network of the relevant organisation’s performance over the review year for consideration in undertaking individual performance reviews.

• Providing to the Board Chair, and prior to him / her conducting the annual performance review and assessment of the Chief Executive, feedback on a Chief Executive’s performance.



PROCEDURES

• Consulting with the relevant Chairperson on performance issues that may arise with a

Chief Executive and agreeing on the appropriate course of action to address those issues.

• Oversighting the framework for the fair resolution of performance issues in dispute between executives and the employer representative.

• Approving any system of performance related payments to executives within the framework of the annual SOORT Determination and the Executive Remuneration Management Framework Guideline issued by the Public Service Commission.

5.4 Preparation for Performance Review (Progress and Annual Review)

Executives should receive at least one week’s notice of any formal progress or annual performance review meeting. Both the executive and his / her reviewer should prepare for a performance review discussion by analysing achievements and noting factors which may have affected / Impacted upon the achievement of goals and targets. The executive should not identify a ‘self-rating’ in advance of this discussion. The performance rating should be identified by the reviewer taking into account the discussion with the executive in the performance review. The executive has an opportunity to discuss the proposed rating in the performance review discussion and to comment on the rating identified by the reviewer. The performance review should be a discrete discussion focussed on providing quality feedback to the executive in relation to their performance and separate from the discussion about the development of the performance agreement for the following year. Although the responsibility for recommending the final assessment is to rest with the nominated reviewer, seeking comments from others may assist this process. Any formal processes used to obtain external input on performance should be agreed between the executive and the reviewer in advance. There should be no surprises at the annual performance review. To prevent this occurring, there should be regular ongoing discussion and feedback between the executive/reviewer throughout the review cycle. Following the organisation’s quarterly performance review meeting with representatives of the NSW Ministry of Health, the Chief Executive / Line Manager should give individual feedback to executives who report to him / her. As part of those discussions, the Chief Executive / Line Manager should if necessary request feedback from the executive on reasonable support the executive may need to achieve required results. The progress review provides an opportunity to:

• Review progress in relation to relevant key performance criteria e.g. time critical, high priority etc

• Discuss strategies for improving performance, if needed PD2016_019 Issue date: June-2016 Page 9 of 33


PROCEDURES

• Review and amend the performance agreement for relevance and currency • Review progress on developmental activities • Document agreed actions.

Irrespective of whether a decision has been made to conduct regular progress reviews within a particular organisation, either party can request a progress review. Any documented outcome of the progress review is to be held in confidential storage by the reviewer. The reviewer may discuss the review outcome with the Secretary or his / her supervisory executive. Executive’s Preparation for Annual Performance Review For the annual review the executive should provide their written commentary on the year in review. This should cover:

• Achievement of Performance Criteria: Achievements relative to the performance criteria in the executive’s performance agreement (or where there is no formally documented criteria performance fulfilling the accountabilities of the position) and circumstances impacting on such achievement e.g. unforeseen events or unforeseen degree of difficulty.

• Other Major Achievements: Achievements in the course of the year arising from unplanned or reprioritised activities that have not been documented as part of the performance agreement.

• Corporate Contribution: This refers to the contribution made to the broader sphere of health services / government. Examples would include participation in system / sector / state / national committees / taskforces that are not directly related to specific job responsibilities; piloting an initiative for Ministry or system-wide implementation.

• Continuing Development: The review is used to identify any personal improvement strategies that should be adopted to improve capabilities over time and included in the Leadership Priorities and Development section. Outcomes from any agreed development plan, and existing and future goals to enhance the executive’s skills and capabilities should also be covered.

Separate and discreet to the performance review discussion, the executive may wish to have available a draft performance agreement for the year ahead to assist discussion about future priorities.

5.5 Degree of Difficulty

When performance is being assessed against the relevant targets and criteria, the line manager may take into account any significant unforeseen factors not within the control of the executive, which may have impeded achievement of targets, and any significant unforeseen degree of difficulty over that which was expected. Examples include:

• Machinery of government changes • Changes in government policy or priorities • Significant resource re-allocation



PROCEDURES

• Organisational restructuring.

5.6 Annual Performance Assessment

While the performance of an executive is assessed separately to the performance of their organisation, achievement of KPIs, service measures and strategic priorities are to be taken into account when determining an executive’s performance assessment. A summary of each LHD and Specialty Network’s performance under the NSW Health Performance Framework over the review year will be prepared by the Ministry and is to be considered in undertaking individual performance reviews to the extent relevant to a particular executive’s performance objectives and criterion. The Framework is accessed via http://www.health.nsw.gov.au/Performance/Pages/frameworks.aspx It would be highly unusual for an executive to receive a high annual assessment in circumstances where the organisation is the subject of a significant escalation pathway under the NSW Health Performance Framework. The reviewer is to provide a written assessment that sets out:

• Conclusions regarding the executive’s performance during the review period • Any directions or recommendations in relation to the executive's future performance of

the duties of their position, including recommendations on development needs • Any proposal to vary performance criteria as a consequence of the performance

review for the next review period • The recommended overall assessment level that best meets one of the following

descriptors in the table below.

Table: Performance Assessment Scale

Unable to Assess Assessment was not possible at the time of the review due to the executive being employed in the role for less than 6 months or inadequate or lack of information. Expectations are clarified and a date is set for the review.

Performance Level Description

Outstanding Performance is consistently at an exceptional level, evident by achievement of outstanding results and strength in capabilities that far exceed standards set for the role.

Superior Performance is consistently high, evident by significant results and capabilities at levels often exceeding standards set for the role.

Performing well Consistently achieves results and demonstrates capabilities at levels that fully meet all standards set for the role.

Developing to standard

Performance is inconsistent or partially meets expectations and standards set for the role.

Unsatisfactory Performance is unsatisfactory, evident by results and capabilities do not meet standards set for the role. Requires immediate and significant corrective action.


http://www.health.nsw.gov.au/Performance/Pages/frameworks.aspx


PROCEDURES

The details contained in the reviewer’s report will be provided to the executive as part of the performance review feedback, and will form the basis of the assessment of overall performance. The reviewer and the executive should discuss any perceived differences regarding performance against the various performance criteria. Performance on other priority tasks not previously planned for, or any short-term assignments to a different position during the review year, should be taken into account when recommending the level of overall assessment. The executive also has the opportunity to comment / respond to the assessment outcome.

5.7 Distinction between Individual Performance Assessment Level and the NSW Health Performance Framework

The function of the performance assessment scale in this policy is to assess, on an annual basis, individual executive performance in an employment context and is consistent with general industry practice. This performance assessment scale serves a different purpose to that of the escalation pathway used in the NSW Health Performance Framework. The NSW Health Performance Framework provides an escalation pathway upon which a level of intervention, if any, is required to improve organisation performance and is assessed on an ongoing basis. In accordance with standard employment practice, the assessment scale is an ascending scale equating to increased levels of performance.

5.8 Timeliness, Fairness and Confidentiality

In respect to the annual performance review process, the assessment outcome should be concluded within six weeks of the annual performance review date. The HESU will send a memo to advise dates for Executive Performance Agreements and Annual Assessment completion. Executives have a right to be fully informed on all aspects of the performance review process, and be given the right to comment on assessment outcomes. All documentation associated with the performance review process, other than the performance agreement, should be stored securely. Dissemination of performance review assessments and related information should be disseminated on a need to know basis. Departures during the Review Period Where a line manager leaves a position, and if practicable prior to his / her departure, he / she should conduct a performance review and assessment for each direct line report. Similarly, where an executive leaves a position, if practicable prior to departure, the relevant reviewer and executive should be proactive in arranging a performance review, as this may impact any subsequent remuneration adjustment as a consequence of the annual SOORT Determination.



PROCEDURES

Performance Review in the absence of a signed performance agreement An annual performance review is required irrespective of whether a formal performance agreement has been executed. Where a formal agreement is not in place for whatever reason, performance will be reviewed having regard to the accountabilities set out in the relevant position description and the performance of the organisation or unit thereof in respect of these functions and KPIs for which the executive has management accountability. The executive’s Annual Performance Agreement and Assessment Form are to be provided to HESU for attachment to the executive’s personnel file.

6 REMUNERATION AND EXECUTIVE PERFORMANCE

6.1 Determination of Remuneration

The SOORT annually reviews the remuneration bands of the Public Service senior executive. The revised rates are effective from 1 July in that year. The Tribunal’s Report and Determination are forwarded to the Premier, and the Public Service Commission subsequently issues the Public Sector Senior Executive Remuneration Management Framework Guideline regarding implementation of the Determination. The annual SOORT Determination increase that applies to Public Service senior executives is by administrative action also applied to HES remuneration arrangements. Following and subject to the annual SOORT Determination and relevant Government Guidelines, the Secretary determines how the annual SOORT decision and the Government Guidelines will be implemented in NSW Health. Where an executive’s performance is assessed as ‘Outstanding’ or ‘Superior’, in addition to the SOORT remuneration increase, they may also be eligible for progression within the applicable remuneration/discretionary range.

6.2 Contract Decisions

Health Executive Service / Senior Executive Service The track record of performance assessments should be a major determinant of both, whether the employment contract will be renewed without testing the market (assuming the position remains unchanged), and whether remuneration should be varied during the contract term. In the case of poor performance, sanctions may be appropriate. In most cases, sanctions would be accompanied by remedial action to try and improve performance. In some cases, following a formal process of review, sanctions could include reduction in remuneration or termination of the contract of employment, noting however that, irrespective of performance, an executive’s appointment can be terminated at any time, for any or no reason, and without notice. Public Sector senior executives Under the provisions of the Government Sector Employment Act 2013 public sector senior executives may be engaged on an ongoing basis or limited term basis where an executive is engaged for short term or limited funded projects.



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Poor performance may result in sanctions against the executive. In most cases, sanctions would be accompanied by remedial action to try and improve performance. In some cases, following a formal process of review, sanctions could include reduction in remuneration or termination of the contract of employment. It should be noted that irrespective of performance, an executive’s appointment can be terminated at any time, for any or no stated reason and without notice.

6.3 Checks and Balances

This performance agreement and review process operates on the assumption that both the executive and the reviewer participate in the process in a professional way, working to achieve a mutual understanding and agreement on outcomes. However, if differences of opinion occur that are unable to be resolved between the executive and reviewer, the executive may have the matter referred to the appropriate supervisory executive, or if the issue remains unresolved, to the Secretary. The executive is to exercise these options in a timely manner.

7 APPENDICES

7.1 Checklist

• The executive has read documentation about the performance agreement and review process attached to his / her contract of employment.

• Performance agreement, including performance indicators and assessment criteria is to be developed and signed within six to eight weeks of commencement. Subsequent annual performance agreement is finalised by the end of August each year.

• Original and subsequent signed performance agreements and assessment reviews are forwarded to HESU (for attachment to the executive’s personnel file), a copy is to be retained by the organisation.

• Usefulness of a midyear or ad hoc progress review, either self-initiated by executive or part of standard practice within organisation, is considered.

• Any progress review documentation is held in secure confidential storage by reviewer. • An annual performance review and assessment is conducted after the organisation’s

performance outcome information is available (and if possible before end August each year).

• Performance review documentation and assessment form to be finalised within six weeks of performance review meeting, and forwarded to HESU.

• All performance review documentation is held in secure confidential storage by HESU.



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7.2 Template for NSW Health Executive Service Annual Performance Agreement and Review

7.2 TEMPLATE FOR

NSW HEALTH EXECUTIVE SERVICE ANNUAL PERFORMANCE AGREEMENT AND REVIEW

PERFORMANCE AGREEMENT BETWEEN [XXX] AND [NAME], [POSITION], [ORGANISATION]

This Performance Agreement constitutes Appendix B in the executive’s contract of employment made in 20XX. It is agreed that the contract is varied accordingly. The Appendix covers the period from 1 July 20XX to 30 June 20XX and may be varied by agreement of the parties. This performance agreement, together with the executive’s performance in properly and effectively discharging his or her statutory duties and responsibilities, will be used in the assessment of the executive’s performance. The executive should ensure the performance criteria remain relevant and are amended as necessary by agreement with the employer to take into account major changes that impact on the executive’s performance. Signatures: Executive: __________________________________ Date: _______ Reviewer: ___________________________________ Date: _______



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PART 1: STRATEGIC OBJECTIVES This section includes goals and initiatives that directly contribute to achievement of Service Agreement KPIs between NSW Health and your Organisation, and / or your Organisation’s Strategic and Operational Plans. Note that in organisations, other than Local Health Districts / Speciality Networks, the headings below should be replaced by the strategic priorities from the relevant organisational compacts. Strategic Priority (from Service Agreement and / or your Organisation’s plans)

Goal What will I do? (from Service Agreement and/or your Organisation’s plans)

Initiatives How will I do it? (key projects / actions to deliver on goal and KPI)

KPI/Target1 How will I measure the outcome? (from Service Agreement and / or developed as a specific measure for this goal)

SAFETY AND QUALITY SERVICE ACCESS AND PATIENT FLOW POPULATION HEALTH

1 For each measure, the relevant Key Performance Indicator (KPI) and/or target could be inserted from the Service Agreement



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Strategic Priority (from Service Agreement and / or your Organisation’s plans)




FINANCE AND MANAGEMENT Refer to Appendix A of the Public Service Commission’s Performance Development Framework to include the appropriate level mandatory performance objectives for executives managing budgets. PEOPLE AND CULTURE Refer to Appendix B of the Public Service Commission’s Performance Development Framework to include the appropriate level mandatory performance objectives for executives managing people. CORPORATE GOVERNANCE


http://www.dpc.nsw.gov.au/__data/assets/pdf_file/0008/153386/D2013_003_Performance_Development_Framework.pdf



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Strategic Priority (from Service Agreement and / or your Organisation’s plans)




WORKPLACE HEALTH AND SAFETY

The executive ensures all managers and staff understand and carry out their obligations, roles and responsibilities in relation to Workplace Health and Safety, including personal safety

MINISTERIAL ADVICE

Provide high quality, concise and accurate advice (oral and written) to the Ministry of Health and the Minister within set timeframe.

SENIOR CLINICIAN ENGAGEMENT

Effectively and meaningfully engage medical practitioners in the decision-making processes to deliver patient centred care within the NSW public health system

1 For each measure, the relevant Key Performance Indicator (KPI) and/or target could be inserted from the Service Agreement



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PART 2: SPECIFIC ORGANISATIONAL PRIORITIES

This section provides the opportunity to capture Organisation-specific strategic priorities, goals and initiatives additional to those listed in Part A. Only include goals that cannot be easily mapped directly to Strategic Objectives in Part A. Strategic Objective/ Priority (from Service Agreement and / your Organisation’s plans)



Performance Measure How will I measure the outcome? (specific to goal and / or from your Organisation’s plans)

Part 1 and 2: Summary Feedback and Comments Executive:

Reviewer:



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PART 3: LEADERSHIP PRIORITIES AND DEVELOPMENT

In this section you need to identify the development actions to be undertaken to build your leadership, professional and / or technical capabilities and improve your capacity to deliver on performance outcomes in the period of the agreement. Leadership and other capabilities should be consistent with the NSW Public Sector Capability Framework, the NSW Health Workplace Culture Framework and the NSW Health Leadership Framework. In identifying development actions, consideration should be given to a broad range of learning strategies, including work based learning experiences. Executives are to identify development actions in relation to one or more of the leadership domains listed below. Leadership Domain

Description

Develops and Leads Self

Actively seek personal development, feedback and opportunities for professional and personal growth Models personal development through confidence, genuineness, resilience, integrity and accountability Takes responsibility for their own performance and performance agreement results

Engages People and Manages Relationships

Reads and understands people, builds trust and facilitates effective team processes Fosters the development of others to achieve their personal and professional goals Manages diversity and conflict with integrity and accountability Creates engaging environments where team members have meaningful opportunities to contribute to improving

and transforming the system Collaborates and Networks Across Boundaries

Employs a collaborative approach to leading, utilising involvement and engagement of employees as a key to organization learning and transformation

Encourages fresh insights from diverse sources and paradigms, internally and externally, which are driven by the need for inclusiveness

Transforms the System

Challenges the current paradigm and motivated to act now to shape a radically different future for health service delivery, focused on the needs of patients

Demonstrates constant critical, analytical, futuristic and systems thinking that supports the team to deliver results Is politically astute and builds political and public support for change, knowing the key influencers for change Combines strategic influence and empowerment to ensure that the health reform agenda is owned and actioned


http://www.health.nsw.gov.au/workforce/Publications/workplace-culture-framework.pdf

http://www.heti.nsw.gov.au/Global/HETI-Resources/leadership/HETI-leadership-framework.pdf


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by staff, communities and agencies

Achieves Results Focuses their own energy and team energy towards what makes a difference Creates and communicates a vision for future health outcomes Effective and efficient use of financial resources and is accountable for delivering results

Development Actions (Identify development actions in relation to one or more of the leadership domains listed above)



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7.3 Template for Ministry of Service Senior Executive Annual Performance Agreement

7.3 TEMPLATE FOR:

MINISTRY OF HEALTH

PUBLIC SERVICE SENIOR EXECUTIVE

ANNUAL PERFORMANCE AGREEMENT

This Template will be adapted annually to reflect the Secretary’s Performance Agreement and sent directly to the relevant executives. If there are any queries in relation to this template please contact the Health Executive Service Unit in the Ministry.

PD2016_019 Issue date: June 2016 Page 22 of 33


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7.4 Template for Statutory Health Corporations (“Pillars”) / Health Administration Corporation Health Executive Service Annual Performance Agreement

7.4 TEMPLATE FOR:

STATUTORY HEALTH CORPORATIONS (“PILLARS”) /

HEALTH ADMINISTRATION CORPORATION

HEALTH EXECUTIVE SERVICE

ANNUAL PERFORMANCE AGREEMENT

PERFORMANCE AGREEMENT BETWEEN XXX AND [NAME], [POSITION],

[ORGANISATION NAME]

This Performance Agreement constitutes Appendix B in the executive’s contract of employment made in 20XX. It is agreed that the contract is varied accordingly. The Appendix covers the period from 1 July 20XX to 30 June 20XX and may be varied by agreement of the parties. This performance agreement, together with the executive’s performance in properly and effectively discharging his or her statutory duties and responsibilities, will be used in the assessment of the executive’s performance. The executive should ensure the performance criteria remain relevant and are amended as necessary by agreement with the employer to take into account major changes that impact on the executive’s performance. Signatures: Executive: _____________________________________ Date: _______ Reviewer: _____________________________________ Date: _______ IF APPLICABLE: Secretary NSW Health: _______________________________ Date: _______



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STRATEGIC OBJECTIVES AND PERFORMANCE CONTEXT

NSW State Health Plan

The NSW State Health Plan provides the strategic framework which brings together NSW Health’s existing plans, programs and policies and sets priorities across the system for the delivery of ‘the right care, in the right place, at the right time’ for everyone. The NSW State Health Plan lays out the next steps on the reform journey. The Plan’s directions and strategies will not only shape how the NSW public healthcare system will develop, but establishes the common values, actions, policies and programs that will be required to get there over the next decade. The NSW State Health Plan is based around 3 Directions and 4 Strategies. Delivering Innovation – The Three Directions • Direction One – Keeping People Healthy

Supporting people to live healthier, more active lives and reducing the burden of chronic disease. Keeping people healthy and out of hospital will improve our quality of life and is the best way to manage rising health costs. This focus will help reduce rates of smoking, obesity, risky alcohol use and early intervention which can lead to strokes, diabetes, kidney failure, asthma, cardiovascular disease and other potentially avoidable diseases, which have a significant impact on individuals and public hospital services. Co-ordinated preventive health strategies will help reduce the burden of chronic disease on our health system.

• Direction Two – Providing World-Class Clinical Care Providing timely access to safe, quality care in hospitals, Emergency Departments and in the community will be achieved through streamlining Emergency Department processes, reducing unwarranted variation in care, reducing re-admission rates, introducing new service models to meet emerging health issues, tightening performance standards, and continuing to focus on quality control to delivery better patient care. These initiatives will be consolidated and extended through our Whole of Health Program which will focus on improving integrated care as a key step in improving patient outcomes.

• Direction Three – Delivering Truly Integrated Care Creating a connected health system so that patients get the care they need, where and when they need it, by connecting State health services with other services. The ‘Right Care, Right Place, at the Right Time’ initiative relies on seamless integrated care, where patients and their carers can easily navigate the health system, have improved healthcare experiences and outcomes with less unnecessary duplication of tests and can avoid unplanned hospitalisations. This focus will be achieved by empowering patients as a key partner in decision making, and driving integration at the local level through partnerships, testing system-wide approaches at demonstrator sites, promoting local health pathways, supporting effective transfer of care, and



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aligning financial incentives and performance. This strategy will have a strong evaluation program that is informed by patient feedback.

Making it Happen – The Four Strategies • Strategy One – Supporting and Developing our Workforce

Helping the ‘heart and hands’ of NSW Health deliver first class, patient-centred care within the CORE values framework.

• Strategy Two – Supporting and Harnessing Research and Innovation Creating the evidence base for better models of care and translating research into new devices, drugs, therapies and procedures to deliver improved healthcare.

• Strategy Three – Enabling eHealth Improving digital connectivity for a smart, networked health system in hospitals, in the community, into the future.

• Strategy Four – Designing and Building Future-Focused Infrastructure Improving facilities and equipment to support the delivery of care.

Executives are responsible for establishing objectives and performance indicators in line with the Secretary’s Performance Agreement, the organisation’s Service / Performance Agreement, or in the case of a “Pillar” organisation its compact, and achievement of the KPIs contained in it, whole of Government objectives such as the State Health Plan and election commitments, and other specific Government strategies and Ministerial directives for which they have primary functional responsibility as well as other identified strategic objectives. Refer to Appendix A of the Public Service Commission’s Performance Development Framework to include the appropriate level mandatory performance objectives for executives managing budgets and to Appendix B for the appropriate level mandatory performance objectives for executives managing people.







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PART 1: WHOLE OF GOVERNMENT PRIORITIES (relevant to the executive’s accountabilities) This section is for objectives and initiatives including relevant priorities from the Secretary’s annual performance agreement that directly contribute to achievement of whole of government priorities. Agreements should reflect relevant responsibilities in State Health Plan priorities and targets, Commission of Audit recommendations, COAG agreements and Election commitments and targets, Ministers’ identified priorities, progress in governance reform and priorities for the Ministry, success in driving innovation and transformation and other key Government initiatives and governance requirements. Objective Outline each objective – what you aim to achieve and why.

Secretary’s Performance Measures / Indicators

Specific Executive Performance Measures / Indicators (if additional to or a sub-set of Secretary’s indicators) Outline the indicators / measures that will confirm achievement.



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PART 2: NSW HEALTH PRIORITIES (relevant to the executive’s accountabilities) This section is for objectives and initiatives, including relevant priorities from the Secretary’s annual performance agreement (parts 1 and 2) relevant to the organisation’s and executive’s accountabilities. Objective Outline each objective – what you aim to achieve and why.

Secretary’s Performance Measures / Indicators

Specific Executive Performance Measures / Indicators (if additional to or a sub-set of Secretary’s indicators) Outline the indicators / measures that will confirm achievement.

Part 3: SPECIFIC ORGANISATIONAL PRIORITIES

These goals will reflect the strategic objectives and specific priorities for the organisation which are not covered in the preceding sections. Objective Outline each objective – what you aim to achieve and why.

Performance Measures / KPI / Indicators Outline the indicators / measures that will confirm achievement.



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Mandatory Performance Objectives (relevant to the executive’s accountabilities) Objective Outline each objective – what you aim to achieve and why.

Performance Measures / KPI / Indicators Outline the indicators / measures that will confirm achievement.

Workplace Health and Safety The executive ensures all managers and staff understand and carry out their obligations, roles and responsibilities in relation to Workplace Health and Safety, including personal safety

Timeliness and quality of Ministerial correspondence

Provide high quality, concise and accurate advice (oral and written) to the Ministry of Health and the Minister within set timeframe

Senior Clinician Engagement Effectively and meaningfully engage medical practitioners in the decision-making processes to deliver patient centred care within the NSW public health system

* Refer to Appendix 1 and 2 (attached), select relevant performance objectives and include the financial / people management objective(s) plus proposed performance measure in the table below

Financial Management Outline the indicators / measures that will confirm achievement. (*Refer Appendix 1 to identify appropriate KPIs)



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People and Capability Management

Outline the indicators / measures that will confirm achievement. (*Refer Appendix 2 to identify appropriate KPIs)

Part 4: Leadership Priorities and Development

In this section you need to identify the development actions to be undertaken to build your leadership, professional and/or technical capabilities and improve your capacity to deliver on performance outcomes in the period of the agreement. Leadership capabilities should be consistent with the NSW Public Sector Capability Framework (http://www.psc.nsw.gov.au/sector-support/capability-framework/access-the-capability-framework/the-capability-framework), the NSW Health Workplace Culture Framework and the NSW Health Leadership Framework. In identifying development actions, consideration should be given to a broad range of learning strategies, including work based learning experiences. Executives are to identify development actions in relation to one or more of the leadership domains listed below. Leadership Domain

Description

Develops and Leads Self

Actively seek personal development, feedback and opportunities for professional and personal growth

Models personal development through confidence, genuineness, resilience, integrity and accountability

Takes responsibility for their own performance and performance agreement results

Engages People and Manages Relationships

Reads and understands people, builds trust and facilitates effective team processes

Fosters the development of others to achieve their personal and professional goals

Manages diversity and conflict with integrity and accountability Creates engaging environments where team members have

meaningful opportunities to contribute to improving and transforming the system

Collaborates and Networks Across Boundaries

Employs a collaborative approach to leading, utilising involvement and engagement of employees as a key to organization learning and transformation

Encourages fresh insights from diverse sources and paradigms, internally and externally, which are driven by the need for




http://www.health.nsw.gov.au/workforce/Publications/workplace-culture-framework.pdf

http://www.heti.nsw.gov.au/Global/HETI-Resources/leadership/HETI-leadership-framework.pdf


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inclusiveness

Transforms the System

Challenges the current paradigm and motivated to act now to shape a radically different future for health service delivery, focused on the needs of patients

Demonstrates constant critical, analytical, futuristic and systems thinking that supports the team to deliver results

Is politically astute and builds political and public support for change, knowing the key influencers for change

Combines strategic influence and empowerment to ensure that the health reform agenda is owned and actioned by staff, communities and agencies

Achieves Results Focuses their own energy and team energy towards what makes a difference

Creates and communicates a vision for future health outcomes Effective and efficient use of financial resources and is

accountable for delivering results

Development Actions (Identify development actions in relation to one or more of the leadership domains listed above)



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APPENDIX 1: Mandatory performance objectives of executives

managing budgets Financial management

Secretary Chief Executive Officer Chief Financial Officer Executive-level budget

holding operational managers

Budget compliance – operating

The Cluster has operated within its approved net cost of services limit, without any negative impact across the forward estimates.

The Agency has operated within its approved net cost of services limit, without any negative impact across the forward estimates.

The Cluster / Agency CFO has provided appropriate information and advice to their DG/CEO to ensure that the Cluster / Agency operated within its approved net cost of services limit, without any negative impact across the forward estimates.

The Executive manager has operated within his / her operating budget (budgeted expenses and, where relevant, revenues).

Budget compliance – capital

The Cluster capital program has been delivered within approved capital expenditure authorisation limits.

The Agency capital program has been delivered within approved capital expenditure authorisation limits.

The Cluster / Agency CFO has provided appropriate information and advice to their DG / CEO to ensure that the Cluster / Agency capital program has been delivered within approved capital expenditure authorisation limits.

The Executive manager has operated within his / her capital budget.

Budget compliance – employee expenses

The Cluster has operated within its approved Labour Expense Cap.

The Agency has operated within its approved Labour Expense Cap.

The Cluster / Agency CFO has provided appropriate information and advice to their DG / CEO to ensure that the Cluster / Agency has operated within its approved Labour Expense Cap.

The Executive manager has operated within his / her labour expense budget.

Delivery of savings

The Cluster savings measures incorporated into the Budget are supported by rigorous implementation plans.

The Agency savings measures incorporated into the Budget are supported by rigorous implementation plans.

The Cluster / Agency CFO has provided appropriate information and advice to the DG / CEO to ensure that savings measures incorporated into the Budget are supported by rigorous implementation plans.

The Executive manager has incorporated rigorous implementation plans into the Budget to achieve savings measures.

Management reporting

The Agency has consistently provided accurate financial returns to Treasury in accordance with specified deadlines.



N/A

Statutory reporting

The Agency has provided annual financial accounts to audit in accordance with specified deadlines and accounts are signed off by the Auditor-General without qualification.



N/A



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APPENDIX 2: Mandatory performance objectives for everyone

managing people People and capability management People and capability objectives Secretary Chief Executive

Officer Executive Operational manager

Managing for performance

The agency has a performance management framework in place that is linked to the corporate planning system.

The agency has a performance management framework in place that is linked to the corporate planning system.

All employees in the division have a current performance agreement that is clearly linked to organisational objectives and is reviewed annually.

All employees in the business unit have a current performance agreement that is clearly linked to organisational objectives and is reviewed annually.

Workforce planning and development

The agency has a strategic, systematic approach to align its workforce capability and capacity with the organisation’s current and future priorities and objectives.

The agency has a strategic, systematic approach to align its workforce capability and capacity with the organisation’s current and future priorities and objectives.

The division implements strategies to align its workforce capability and capacity with the organisation’s current and future priorities and objectives.

The business unit implements strategies to align its workforce capability and capacity with the organisation’s current and future priorities and objectives



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7.5 Annual Performance Assessment Form 20_Annual Review 7.5 ANNUAL PERFORMANCE ASSESSMENT FORM - 20__ ANNUAL REVIEW Name and Title: Organisation:

Reviewer’s Comments on Overall Performance Executive’s Comments on Overall Performance or in response to Reviewer’s comment

Performance Review documentation for the year under review is attached. NSW Health Performance Scale - Please circle recommended Performance Level Note: Performance rating is a holistic overall assessment scale.

Performance level Description Outstanding Performance is consistently at an exceptional level, evident by

achievement of outstanding results and strength in capabilities that far exceed standards set for the role.

Superior Performance is consistently high, evident by significant results and capabilities at levels often exceeding standards set for the role.

Performing well Consistently achieves results and demonstrates capabilities at levels that fully meet all standards set for the role.

Developing to standard

Performance is inconsistent or partially meets expectations and standards set for the role.

Unsatisfactory Performance is unsatisfactory, evident by results and capabilities do not meet standards set for the role. Requires immediate and significant corrective action.

Unable to Assess – Assessment was not possible at the time of the review due to the executive being employed in the role for less than 6 months or inadequate or lack of information. Expectations are clarified and a date is set for the review.

Priorities for the next year

We have discussed priorities for the new review year.

Signatures: Executive: ____________________________ Date: _______

Reviewer: _____________________________ Date: _______
